COMPLIANCE PROGRAMS AND TRAINING

Compliance means “conformity in fulfilling official requirements.”

Compliance programs and training educate an organization and its employees on how to conform with official requirements, policies, procedures, and actions to prevent illegal activity and unethical conduct.

Organizations have a social responsibility to their employees and the general public to prevent poor behavior and ensure proper governance within the organization. Therefore, compliance programs and training are central to an organization’s risk management system.

Organizations may view compliance programs and training as an unnecessary expense that diminishes profits. Employees may view compliance programs and training as extra work and a useless requirement.

However, compliance programs and training:

  • Mitigate the risk of illegal activity
  • Protect the business’ reputation
  • Create a safer workplace
  • Increase productivity
  • Act as a cost avoidance measure

Compliance programs and training should be a top priority for an organization. The type of industry and location of the organization determines the compliance guidelines and the type of training required. We create effective and engaging compliance-training programs that are designed to show our clients and their employees that the organization is respected and reputable.

We offer customized compliance programs and training sessions (game-based online or in-person) that adhere to both, government-mandated and industry specific compliance polices, in an engaging and challenging manner.

Topics may include:

  • Bribery & Corruption (FCPA and other Anti-corruption laws)
  • Third Parties Management
  • Business Competition (Anti-trust laws)
  • Corporate Fraud
  • Money Laundering Protection
  • Conflicts of Interest
  • Data Protection & Privacy
  • Harassment & Discrimination
  • Business Ethics
  • Export Controls

INTERNAL CONTROLS

Internal controls create value for any organization, regardless of size.

Internal controls help to ensure that an organization is doing the right job, in the right way, to achieve effective and efficient operations in the workplace in compliance with all laws and regulations.

Conversely, excessive controls are harmful, increase bureaucracy and reduce productivity.

It is key for any organization to find the appropriate balance of internal controls.

We provide our clients with the appropriate level of internal controls, assess the design and effectiveness, and develop systems to monitor and update those internal controls.

Organizational risks are dynamic and may change over time. Therefore, there are two questions that must be embedded within an organization:

  • What can go wrong?
  • What assets do we need to protect?

In order to have effective internal controls an organization must consider the following:

People: Positive tone at the top, accountability, training, and resources.

Risks: Identify, analyze, and manage.

Daily Activities: Approvals, authorizations, verifications, reconciliations, performance reviews, asset security, and segregation of duties.

Communication: Specific and reliable information, on-time reports, target audience and propitious environment for employees to alert management to potential problems.

Monitor: Ensure controls remain adequate and work properly, and ensure that identified problems are corrected.

We identify, analyze, and manage potential risks to your organization. We assist you to mitigate risks while enhancing effectiveness.

BACKGROUND SCREENING

Background checks provide valuable information about the people or entities you plan to work with including:

  • Partners
  • Clients
  • Vendors
  • Potential investors
  • Employees

Background screening is an important step in any compliance program. By obtaining background information early on, an analysis can be done to effectively minimize the risks inherent to a new business relationship or new investment.

Background screening can provide information on the existence of:

 

  • Fraudulent practices
  • Money laundering
  • Theft
  • Reputation damage
  • Lack of veracity of previously provided information
  • Embarrassing mistakes

 We work with reputable and experienced companies that are trusted by some of the world’s largest enterprises. We provide background screening services and reports to entities in Latin America, the U.S., and other international regions related to the following areas:

  • ID validation
  • Civil litigation
  • Criminal litigation
  • CV validation
  • Regulatory sanctions
  • Domestic/international red flags and restrictive lists
  • Address verification
  • Adverse information
  • Social media presence
  • Reputation inquiries
  • Ownership/Directorship/Shareholder check

DUE DILIGENCE

Before making a business decision it may be necessary to perform due diligence to evaluate, from all aspects, the parties and organizations involved in the transaction.

Due diligence is a risk management tool that may be performed prior to signing a contract, closing on a transaction, starting an ongoing business or employment relationship.

Due Diligence identifies:

  • Potential problems
  • Unexpected liabilities
  • Financial matters
  • Hidden information

In fact, doing new businesses in the dark, without due diligence on the parties involved is a risk that may result in:

  • Wasted time and resources
  • Money lost
  • Reputation damage
  • Liabilities

We partner with companies that follow the highest integrity standards, with a comprehensive network of information resources across Latin America and the U.S., to provide you with research and comprehensive due diligence reports to make an informed business decision.

  • Corporate due diligence
  • Corporate records retrieval
  • Ultimate beneficial ownership
  • Corporate structure
  • Civil litigation
  • Criminal litigation
  • Regulatory sanctions
  • Domestic/international red flags and restrictive lists
  • Address verification
  • Adverse information
  • Social media presence
  • Reputation enquiries

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    Our Clients

    We serve small, medium-sized and large companies seeking good business for reasonable price: U.S.-based organizations operating internationally as well as Latin American and other foreign companies doing business in the U.S.